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QACE - Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union (CIC)

QACE Quality Manual

Information about this Manual Manual version: 4.0 Approved Date: January 2018 Prepared: QACE Secretariat Approved: QACE Board of Directors

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CONTENT 1/ Context of the Organization 2/ Interested Parties expectations 3/ Scope of Activities 4/ References 5/ Legal Statement 6/ Manual Administration 7/ Glossary

01 POLICIES

01-01 Quality Policy & Objectives 01-02 OHS Policy 01-03 Travel Policy 01-04 Confidentiality Policy

02 MANAGEMENT PROCESSES

02-01 Roles & Responsibilities 02-02 QACE Membership 02-03 Qualification & Training 02-04 Financial Roles & Responsibilities 02-05 Board Meetings 02-06 Management Review 02-07 Customers 02-08 Customer Feedback, Complaints & Appeals 02-09 Internal Audits 02-10 Nonconforming Product and Corrective Action 02-11 (withdrawn) 02-12 Document & Data Control 02-13 Purchasing 02-14 Control of Records 02-15 Control of Supplied Services

03 OPERATIONAL PROCESSES

03-01 Certificate of Compliance 03-02 Assessments 03-03 Annual Work Plan & Budget 03-04 Collective & Individual Recommendations 03-05 Annual Report 03-06 Working with IACS 03-07 Working with the ACBs 1 / CONTEXT of the ORGANISATION QACE – Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union CIC” was founded 24 November 2010 by the then 12 organisations recognised by the European Commission as “Recognised Organisations” - “ROs” - to the European Community Member States. The establishment was the result of the introduction of mandatory requirements in EU Regulation (EC) No 391 / 2009 on “Common rules and standards for ship inspection and survey organisations”. Article 11 in this

Regulation requires the ROs to the European Community to “set up by June 2011 and maintain an independent quality assessment and certification entity in accordance with the applicable international quality standards …”.

QACE was incorporated on 30 November 2010 under the English Companies Act 2006 as a private company limited by guarantee that is a community interest company and is not-for-profit. The company has its office in London.

The EU Regulation states that the quality assessment and certification entity shall carry out “frequent and regular assessment of the quality management systems of recognised organisations, in accordance with the ISO 9001 quality standard criteria” and “certification of the quality management systems of recognised organisations”. The Regulation also states that “The quality assessment and certification entity will lay down its working methods and rules of procedure.”

The independent Board of Directors of QACE has decided that QACE will exercise its mandate under the EU Regulation by conducting assessments during the audits carried out by independent Accredited Certification Bodies (ACBs) contracted by the ROs to the extent that it will verify and assess that the requirements of ISO 9001 and of the internationally recognised quality standards for ROs (e.g. IACS Quality System Certification Scheme (QSCS) Requirements) are fulfilled, as set out in these QACE Procedures

2 / INTERESTED PARTIES QACE defines its interested parties as its customers defined in process 02-07 Customers. QACE monitors and reviews information about its interested parties and their relevant requirements. ● Company Directors ● Members and applicant Members● European Commission DG Mobility & Transport● Flag States● International Maritime Organisation (IMO)● The marine industry ● The Accredited Certification Bodies (ACBs)● Public at large● HMRC As a regulatory organisation QACE does not include interested parties that might be relevant to a commercial organisations but, as a Community Interest Company (CIC), paying tax, does include HMRC.

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3 / SCOPE OF ACTIVITIES

Assessment of the Quality Management Systems (QMS) of the EU Recognised Organisations (ROs) in accordance with the principals of ISO 19011:2011 ‘Guidelines for auditing management systems’, through the witnessed application of the ISO 9001:2015 and IACS Quality System Certification Scheme (QSCS) requirements by ISO 17021:2011 accredited certification bodies.

4 / REFERENCES

EXTERNAL:

• The European Union Regulation (EC) No 391/2009• ISO 9001:2015 • ISO 19011:2011 • IACS Quality System Certification Scheme (QSCS)• IACS Quality Management System Requirements (QMSR)

INTERNAL QACE:

• QACE Articles of Association (AoA)QACE does not have a process document related to QACE Members as the requirements are detailed in the AoA Parts 3: Members. 10. Membership 11. Authorised Representatives 12. Administrative powers reserved to the Members 13. General meetings 14. Voting at General Meetings 15. Written Resolutions

• QACE Policies (01) • QACE Operational Processes (02) • QACE Management Processes (03)

ISO 9001:2015

QACE applies the “plan–do–check–act” philosophy, an explicit requirement for risk-based thinking to support and improve the understanding and application of the process approach.

A risk-based philosophy is in boded in the QACE Risk and Opportunity Register, approach to Assessment planning and recommendations development.

Table of ISO 9001 2015 Clauses & related QACE processes

Description ISO 9001 2015 Clause

QACE process

Context of the organisation 4.1 01 1

Interested parties expectations

4.2 01 2

Management System scope 4.3 01 3

Quality management system and its processes

4.4 01

Documented Information 7.5 02-12

Leadership and commitment 5.1 02-06

Leadership and commitment 5.1.2 02-07

Policy 5.2 01-01

Quality objectives and planning to achieve them

6.2 03-02

Organizational roles, responsibilities and authorities

5.3 02-01 02-04

Management review 9.3 02-06

Resources 7.1 03-02

Competence 7.2 02-01

Infrastructure 7.1.3 01

Environment for the operation of processes

7.1.4 01

Operational planning and control

8.1 03-02

Requirements for products and services

8.2 02-07

Design and development of products and services

8.3 n/a

Control of externally provided processes, products and services

8.4 02-13

Production and service provision

8.5 03-02

Monitoring and measuring resources

7.1.5 02-15

Monitoring, measurement, analysis and evaluation

9.1 03-02

Control of nonconforming outputs

8.7 02-10

Analysis and evaluation 9.1.3 03-04

Nonconformity and Corrective Action

10.2 02-10

IACS Quality System Certification Scheme (QSCS).

QACE completed a Procedural Review Project (PRP) in December 2014 in the development of the QMS. The PRP included the applicability and any exceptions to the International Classifications Societies (IACS) Quality System Certification Scheme (QSCS), including the Quality Management System Requirements (QMSR).

As a result, QACE formal adopts the IACS QSCS and QMSR requirements.

QACE provides annual QSCS feedback (usually in February) for the development of the Scheme.

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4 / LEGAL ENTITY & STATEMENTS

The name of the company is:

QACE - ENTITY FOR THE QUALITY ASSESSMENT AND CERTIFICATION OF ORGANISATIONS RECOGNISED BY THE EUROPEAN UNION CIC

QACE is operated under its Articles of Association (AoA).

The company has its registered address at:

3rd Floor Crown House 72 Hammersmith Road London W14 8TH

Telephone: +44 (0)20 3178 2301 Website: www.qace.co The Company Number is 7455733.

QACE is registered as incorporated by The Registrar of Companies for England and Wales on the 30th November 2010 as a private company; that the company is limited; it is a Community Interest Company (CIC).

Not for profit: QACE assets are to be used to advance the Objects for the benefit of the community.

GOVERNING LAW AND JURISDICTION

QACE is a company limited by guarantee registered in England and Wales. For the avoidance of doubt, relationships between QACE and any third parties (including but not limited to contractual relationships) are governed by English law, and the courts of England and Wales shall have jurisdiction in respect of any dispute that might arise between QACE and any such third parties

5 / MANUAL ADMINISTRATION

The manual is amended as when necessary by the Secretariat. New revisions of the manual are approved by the QACE Board at the next appropriate Board meeting.

The current version is maintained in the QACE Management System electronic file and is published on the QACE website under the Publications page

Previous revisions are maintained. Revision amendments are recorded in the following table.

QACE Quality Manual Revision Record

Rev No.

Revised section

Revision detail Date

1.0 New QMS 22 Jan 15

1.1 01 Addition of Scope of activities and amendment to the Quality Policy. Inclusion of ISO 9001:2008 reference table

Feb 15

2.0 Manual & processes 02-01

02-08

02-14

02-01

03-03

03-04

03-05

Minor changes in relation to the new Secretariat and Secretary General title. Roles & Responsibilities. Addition of Directors Election Committee and Financial Audit Committee Customer Feedback, Complaints & Appeals. Amended title. Control of Records. Inclusion of Certificates of Compliance. Certificate of Compliance. Biennial validity. Annual Work Plan & Budget. Addition of Financial Audit Committee involvement. Collective & Individual Recommendations. IR follow-up requirements. Annual Report. Inclusion of member’s review.

May 16

“

“

“

“

“

“

“

3.0 Manual & processes 01

2-01 to 02-09 02-10 02-11

03-06 03-07

Complete revision including ISO 9001:2015 compliance. Manual New clauses 1 and 2 - subsequent clause renumbering Management Processes minor amendments Non-conforming Product and Corrective Action (combined with 02-11) Withdrawn Operation Processes Working with IACS (new process) Working with the ACBs (new process)

Jan 17

“

“

“

4.0 Manual & processes 01

02-02 to 02-03 02-04

02-12 to 02-15

Manual minor amendments

Management Processes minor amendments

Financial Roles & Responsibilities (new process) minor amendments

Jan 18

“

“

Operation Processes QACE Requirement Notices (new process)

03-08

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6 / GLOSSARY

ABS American Bureau of Shipping ACB Accredited Certification Body BSI BV

The British Standards Institution [Certification Body] Bureau Veritas

CCJ Quality Certification Center [Certification Body]

CCS China Classification Society CIC Community Interest Company [Not

for Profit] CO CR CRS

RO Controlling Office Collective Recommendations Croatian Register of Shipping

DEKRA DEKRA Certification GmbH [Certification Body]

DNV GL AS Det Norske Veritas Germanischer Lloyd AS

DEC DQS

Directors Election Committee DQS GmbH [Certification Body]

EC European Commission EMS Environmental Management System EMSA European Maritime Safety Agency EU EUW

European Union IACS ACB Auditor End User Workshop

FAC HO HSO

Financial Audit Committee RO Head Office Health & Safety Officer

IACS IACS QC

International Association of Classification Societies IACS Quality Committee

IACS PR IACS Procedural Requirements IACS UI IACS Unified Interpretations IACS UR IACS Unified Requirements IAF International Accreditation Forum,

Inc. IAF MD IAF Mandatory Document IMO IRS IR

International Maritime Organization Indian Register of Shipping Individual Recommendation

ISM International Safety Management Code

ISO International Organization for Standardization

ISPS KPI

International Ship and Port Security Code Key Performance Indicator

KR Korean Register of Shipping LR Lloyd’s Register of Shipping NC NGO

Audit finding graded as Non-Conformity IMO Non-Governmental Organisation

NK Nippon Kaiji Kyokai OB OHS

Audit finding graded as Observation Occupational Health & Safety

PA PRP

RO Plan Approval Centre Procedure Review Project

PRS

Polski Rejestr Statków S.A (Polish Register of Shipping)

QMS Quality Management System QO QSCS

Quality Objective IACS Quality System Certification Scheme

RINA RINA Services S.p.A. RO Recognised Organisation RS Russian Maritime Register of Shipping SAI G SAI Global Limited [Certification Body] SGS SGS S.A. [Certification Body] SL TL

RO Survey Location Türk Loydu

UTM Ultrasonic thickness measurement VCA Vertical Contract Audit

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01-01 QACE QUALITY POLICY & OBJECTIVES

PURPOSE

It is the purpose of this policy to manage and continuously improve QACE performance through the setting of Key Performance Indicators (KPIs) associated with the QACE Objects and Quality Objectives.

1. POLICY

QACE, as the organisation recognised by the European Union to assess and continually improve the quality management systems of the Recognised Organisations, will achieve its obligations through its commitment in complying with the ISO 9001:2015 and other applicable requirements.

Delivering, through an independent and effective Recognised Organisation oversight programme audit assessment and collective and individual recommendations, in order to confirm that quality systems can deliver and continually improve performance to the highest professional, technical, management and safety standards.

QACE has established regularly reviewed quality objectives as part of its management system which is communicated and understood within the organisation and is regularly reviewed for continuing suitability.

2. QACE OBJECTIVES QACE Articles of Association Section 6. The objects of QACE ("the Objects") are: to fulfil those purposes set out in Article 11 of the Regulation so as to promote safety at sea and the protection of the marine environment for the benefit of the community and in particular to undertake the following tasks:

6.1.1 frequent and regular assessment of the quality management systems of Recognised Organisations, in accordance with the ISO 9001 quality standard criteria;

6.1.2 certification of the quality management systems of

Recognised Organisations, including organisations for which recognition has been requested in accordance with Article 3 of the Regulation;

6.1.3 issue of interpretations of internationally recognised quality

management standards in particular to take account of the specific features of the nature and obligations of Recognised Organisations; and

adoption of individual and collective recommendations for the improvement of Recognised Organisations' processes and internal control mechanisms,

which are stated in Article 11 of the Regulation;

to carry out any other activities consistent with QACE's status as a community interest company as determined by the Directors from time to time and set out in the Annual Work Plan approved in accordance with these Articles.

2. METHOD

2.1 The QACE Objects are laid down in the AoA Section 6. The Quality Objectives (QOs) are associated with each of the major QACE policies, operating and management processes.

2.2 Each QACE Objective has associated Key Performance Indicator(s) (KPIs). The KPIs are identified by the Secretariat. RISK- how to monitor the KPIs ensuring it’s on track, who is responsible for it?

2.3 The annual KPIs are approved by the Board during the Management Review agenda item of the January Board meeting.

2.4 The success of the preceding year’s objectives and KPIs are assessed during the following year’s January Board meeting.

2.5 Where KPIs have not been met the Board’s associated comments and actions are recorded in the Board meeting minutes.

3. RECORDS

- The January Board meeting minutes are the record of Objectives, KPI and process performance.

- January Board meeting Annex A - Objectives

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01-02 OCCUPATIONAL HEALTH & SAFETY (OHS) POLICY

PURPOSE

It is the purpose of this policy to manage the OHS risks faced by the QACE employees and to positively influence the health safety performance of the industry.

1. QACE OSH POLICY

QACE is committed to:

• Complying with the applicable health and safety legislation.

• Ensure employees and contractors are OHS aware.

• Providing adequate resources (e.g. Personal Protective Equipment (PPE)) to allow the aspects of work that they observe to be undertaken safely.

• Requiring that adequate resources are provided by ROs and other worksite controllers to allow work to be undertaken safely.

• Giving their employees the right and responsibility to refuse to conduct work they consider to present an unacceptable risk until it is safe to do so. This mainly applies to Assessors attending a site visit.

• Recognising, adopting, developing and promoting best practices within the industry. The Secretariat is responsible for this process.

2. SHIP & SHIP YARD VISITS

2.1 QACE Assessors come from a RO background and have undertaken appropriate health and safety training during the course of their previous careers. It is part of the Assessor’s responsibilities to ensure that they are up-to-date with appropriate marine industry requirements. This is followed up during the Assessor’s meeting in January.

2.2 Assessors are to ensure that they have appropriate PPE during all relevant VCAs and yard visits.

2.3 It is the RO’s responsibility when Assessors are attending on-board and during works visits that they comply with the

relevant local applicable health and safety and work site requirements.

2.4 Assessors will not be left unattended on-board, particularly during entry into confined spaces, Assessors shall not undertake transfers at sea or attend sea trials.

2.5 QACE will assess from time to time if specific training is required.

2.6 This OSH Policy will be reviewed by QACE Board regularly, usually during the annual Management Review, in order to ensure that it remains suitable and appropriate to the work of QACE and is continually improved.

2.7 Safety is continuous focus for QACE, from the assessment of its effectiveness as part of the RO’s QMS and the reporting of any incidents or trends that may be witnessed particularly during assessments.

2.8 Health & Safety issues may be associated with surveyor’s and Assessor’s personal health, safety on-board or in relation to the ship or in the yard or in relation to general industry safety concerns.

3. OFFICE

General staff responsibilities, all staff must:

• Take reasonable care for their own health and safety and that of others who may be affected by their acts or omissions;

• Co-operate with the Health and Safety Officer (HSO) (Alima Kamara) to enable compliance with health and safety duties and requirements;

• Comply with these health and safety instructions and rules;

• Keep health and safety issues in the front of their minds and take personal responsibility for the health and safety implications of their own acts and omissions;

• Keep the workplace tidy and hazard-free; • Report all health and safety concerns to the HSO,

including any potential risk, hazard or malfunction of equipment, however minor or trivial it may seem; and,

• Co-operate in the QACE's investigation of any incident or accident which either has led to injury or which could have led to injury, in the QACE's opinion.

Staff responsibilities relating to accidents and first aid, all staff

must: • Report any accident at work involving personal injury, to

the HSO so that details can be recorded in the Accident Log and cooperate in any associated investigation;

• Familiarise themselves with the details of first aid facilities and trained first aiders, which are displayed on the notice board.

• If an accident occurs, dial the reception and ask for the duty first aider, giving name, location and brief details of the problem.

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Staff responsibilities relating to emergency evacuation and fire, all staff must:

• Familiarise themselves with the instructions about what

to do if there is a fire which are displayed on the notice board;

• Ensure they are aware of the location of fire extinguishers, fire exits and alternative ways of leaving the building in an emergency;

• Comply with the instructions of fire wardens if there is a fire, suspected fire or fire alarm;

• Co-operate in fire drills and take them seriously (ensuring that any visitors to the building do the same);

• Ensure that fire exits or fire notices or emergency exit signs are not obstructed or hidden at any time;

• Notify the HSO immediately of any circumstances, which might hinder or delay evacuation in a fire.

On discovering a fire, all staff must:

• Immediately trigger the nearest fire alarm and, if time permits, call reception and notify the location of the fire; and

• Attempt to tackle the fire ONLY if they have been trained or otherwise feel competent to do so.

On hearing the fire alarm, all staff must:

• Remain calm and immediately evacuate the building, walking quickly without running, following any instructions of the fire wardens;

• Leave without stopping to collect personal belongings; • Stay out of the lifts; and • Remain out of the building until notified by a fire warden

that it is safe to re-enter. Risk assessments, display screen equipment and manual handling

• Risk assessments are simply a careful examination of what in the workplace could cause harm to people. QACE will carry out general workplace risk assessments when required or as reasonably requested by staff.

• Staff who use a computer for prolonged periods of time may request a workstation assessment by contacting the HSO. Guidance on the use of display screen equipment can also be obtained from the HSO.

Any breach of health and safety rules or failure to comply with this policy will be taken very seriously and is likely to result in disciplinary action against the offender, up to and including immediate dismissal.

4. RECORDS

- Management Review Board Meeting minutes.- Incident Log - The Secretariat is responsible for the maintenance and review

the records.

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01-03 QACE TRAVEL POLICY

1. PURPOSE

This policy will guide and ensure fair treatment of all eligible travels for QACE business. This policy takes account of health and safety aspects of travels.

2. APPLICATION

This policy applies to all travelers on business duty for QACE, including contractors, the Secretary General, and the Directors of the Board. This policy does not apply to Members of QACE.

3. PRINCIPLES

This policy implements an appropriate travel accountability framework in keeping with modern travel practices. The principles are based on trust, flexibility, and transparency for the reimbursement of fair and reasonable costs for travelers on business. Staff are encouraged to use the corporate travel company Greydawes for booking flights and accommodation.

4. DEFINITIONS

Accommodation: Commercial accommodation, lodging facilities such as hotels, motels, or corporate residences. Private Accommodation, private dwelling where the traveler does not normally reside. Declaration: a written statement signed by the traveler attesting to and listing the expenses for payment without receipt. Economy Class: the standard class of air travel, including discount fares for a ticket that is possible to redeem its value in case of cancellation and to change flights as necessary. Incidental expense allowance: an allowance to cover the costs of items attributed to travel status for which no other reimbursement is provided in the policy. Receipt: an original document or facsimile showing the date and amount of expenditure paid by the traveler. Travel status: occurs when a traveler is on authorized QACE travel. Traveler: a person who is authorized to travel on QACE business.

5. AUTHORIZATION

a. The Secretary General and Directors of the Board have blanket authority to travel for QACE business.

b. Contractors will be authorized by the Secretary General to travel for QACE business.

6. TRAVEL FORMS AND RECEIPTS

6.1 The QACE Travel Expenses Form shall normally be used. If not feasible a similar format may be used that provides all pertinent information in legible writing and the total travel expenses either in GBP (pounds sterling) or Euros.

6.2 In general all expenses will be reimbursed based on receipts. A personal declaration may replace the receipt where the traveler indicates the receipt was lost, accidentally destroyed, or unobtainable.

6.3 The travel expenses form with receipts is to be submitted electronically as a single scanned document.

7. INSURANCE

Employees and sub-contracted Assessors travelling on QACE business, the traveler may be provided with protection, subject to the terms and conditions of the QACE Personal Accident and Travel Insurance policy.

8. TRAVEL EXPENSES

8.1 Transportation

- The selection of transportation will be based on cost, duration, convenience, safety, and practicability.

- The standard for air travel is business class for flights of three (3) hours or more. For flights of less than three (3) hours, economy class tickets (redeemable/changeable) should be used. If a business class ticket is comparable in price and no more than 20% above an economy class ticket (redeemable/changeable), then a business class ticket may be used.

- The standard when travelling by train or ship is first class, if reasonable and practical in longer trips. For shorter trips, say, airport shuttle, economy class should be used.

- When necessary to reach a destination, taxi or rental car expenses will be reimbursed based on receipts.

- Where safety is of concern, a taxi or car driver should be used. - Travelers using a private car will be reimbursed by mileage

allowance in accordance with local national government, tax rules, or rates from an established institution.

8.2 Accommodation

The standard for accommodation is the regular business standard for the area, considering safety, convenience of location, and to be reasonably comfortable. In outlying areas, hotels or residences with price agreements with host companies or travel agencies should be normally used. The traveler will be reimbursed for each day in private accommodation while on QACE business.

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8.3 Meals

The actual and reasonable meal expenses will be reimbursed based on receipts.

8.4 Additional business expenses

The traveler will be reimbursed for business expenses not otherwise covered such as telephone calls, photocopies, faxes, internet connections, visas, and changes to travel arrangements. The traveler will be reimbursed for service charges/fees and reasonable expenses such as: Automated Banking Machines use; credit/debit card use; and, foreign currency exchange expenses/commission.

8.5 Incidental expense allowance

A traveler will be paid an allowance per day that covers miscellaneous expenses not otherwise provided by the policy. Currency exchange: All travel expenses will be reimbursed in either GBP (pounds sterling) or Euros. The costs incurred to convert reasonable sums of money to foreign currency and/or reconvert will be reimbursed based on receipts. When receipts are not available or when converting travel expenses to GBP, the average bank rates for the corresponding dates are to be used. 9. Submission/Reimbursement of Expense Claims All travelers will endeavor to submit travel Expense Forms to the Secretary General within 30 working days of the end of the travel period. The Secretary General will endeavor to reimburse travelers within 14 working days of receiving the correctly completed form. 10. Records Electronic signed copies of the Travel Expense Forms with receipt enclosures.

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01-04 QACE CONFIDENTIALITY POLICY

PURPOSE

This policy describes the general and specific QACE confidentiality requirements.

APPLICATION

This policy applies to all QACE staff and QACE Members.

PRINCIPLES

This policy implements the QACE confidentiality requirements for QACE staff and QACE Members. The European Union Regulation (EC) No 391/2009 requires information to be reported which may affect ship safety. Outside of confidential information QACE has a policy of transparency regarding its activities. As much as possible information about QACE and the scope and results of QACE activities is posted on the QACE website www.qace.co

REQUIREMENTS

1. QACE Staff All QACE staff are required to maintain as confidential all information regarding QACE and the QACE Members except where the information is either required as described in the Principals or has been discussed in advance with the Member concerned. All such information is to be advised in confidence to the QACE Board via the QACE Secretary General. 1.1 QACE Directors QACE Non-executive Directors are required to sign a Confidentiality Statement included in the contract as Annex A.

1.2 QACE Assessors As sub-contractors the QACE Assessors and other sub-contractors are required to sign a Confidentiality Statement, which is included in the contract as Annex B. Attending audits the Assessor will restate the confidentiality requirement at the opening meeting 1.3 QACE Members QACE Members are required to maintain as private all confidential information concerning QACE activities, outside of that which is published on the QACE website, or which has been discussed and agreed by QACE. 2. Individual Recommendations (IRs) Refer to the QACE process 03-04 which describes the confidentiality requirements with regard to IRs. 3. Board Meeting s - Confidential Report Refer to the QACE process 02-05 which describes the Board Meeting Confidential Reports. 4. Documents and Data Protection All work-related data and documents are protected by secure password protected access. Any hard copy documents are secured in locked cabinets and draws RECORDS - Sub-contractor contracts Annex B - Directors contracts Annex A - Board Meeting Confidential Reports


QACE Process 02-01: Roles & Responsibilities

Information about this Process Procedure No.: 02-01 Version: 4.0 Approved Date: January 2018 Prepared: QACE Secretariat Approved: QACE Board of Directors

1. QACE Directors 1.1 In conjunction with 16.5 and 16.6 of the Articles of

Association:

• At least two Members of the Board are to be domiciled in Asia and/or the Americas,

• At least two Members of the Board domicile in Europe, and at least two Members of the Board represent flag or Port States and

• At least two Members of the Board represent the international maritime industry Associations, and marine insurers or P&I.

1.2 Directors are eligible and are elected according to Articles

of Association (AoA) Chapter 16 and Clause 14.5. The rules of proceedings and administrative powers of Directors are given in the AoA Chapter 17 to 20.

1.3 The Board of Directors are responsible, with the Secretary General, for QACE quality and risk management.

1.4Existing Board of Directors whose term is expiring at the end of the final year of a term and are eligible for reappointment shall be queried, by the Secretariat during the final year of their term (no later than June) and, if willing to continue to serve, are automatically entered into the election process.

1.5 Before the election of new Directors a nomination shall be arranged. The nomination shall be conducted by the President. Nominations can be proposed by the Members. Interested Parties may propose nominations by invitation from the President. The Secretariat assists the President in the nomination process.

1.6 The Director’s Election Committee (DEC) chaired by

the President and including one Member, is to ensure continuation of the Board, recognising that with a small Board and staggered terms of office, Directors need to be identified in good time to ensure the Board maintains the highest levels of competence and knowledge of QACE activities at all times. The DEC and members are responsible for the timely identification of candidate Directors and their nominations.

1.7 All nomination shall include a complete CV for

the nominee. The CV shall address the issues related to AoA Clause 16.2 and 16.3. The Secretariat shall review the CV for all nominees and deliver recommendations for eligible nominees to the President. The Secretariat under this work may request or seek supplementary information.

1.8 The Members will elect QACE Directors at the

Annual General Meeting in closed session. The results of election of Directors are recorded in the AGM minutes.

1.9 The Secretariat will record changes of the QACE

Directors with Company House. The Secretariat will maintain records of: - The Directors nominations and CV’s and associated

correspondence. - Directors contracts - A table of the QACE Directors Terms of Office - AGM minutes

QACE Roles & Responsibilities

PR 02-01 January 2018 2

2. Assembly President 2.1 In conjunction with 13.6.8 of the AoA, the following guidelines have been agreed for appointment of the President of the Assembly. 2.2 Generally, all Members Representatives shall have an opportunity to serve as President in a cycle. The sequence shall normally follow the alphabetical listing of the Members. New Members will be added to the end of the rotation sequence as they join the organization. 2.3 At the time a Member’s Representative is due for the

Presidency that Member may elect to:

• Accept by Resolution their term for the Presidency,

• Decline (skip in that cycle) their term for the residency,

• Exchange that turn with another Society who has not yet served in the cycle.

2.4 The Presidency elect shall declare his/her preference to

serve one or two years, or consider a second year after a one-year term.

2.5 If a President cannot or is not willing to finish the term, the

President shall advise the Members in writing and the members shall proceed to consider the next eligible RO on the list

3. The Secretary General 3.1 The Secretary General (SG) is appointed by the Directors

according to AoA Clause 18.1.2. The SG has the power and executes the duties as stated for the AoA.

3.2 The SG reports to the Board of Directors. The SG is

appointed and acts as the organisation’s Management Representative as defined in ISO 9001 2015 clause 5.5.2.

3.3 The Secretary General’s responsibilities are listed in the Guidelines for the work of the Secretary General (SG).

4. QACE Secretariat and contracted assessors

4.1 Administrative staff and contracted Assessors are appointed by the Secretary General after consent by the Board. The consent shall be based on the Secretary General’s recommendation regarding need, budget allowance and competence.

4.2 The appointment is confirmed by an employment contract signed by both parties, specifying work, work conditions and remuneration conditions.

4.3 Administrative staff and Assessors report to, and carry out work as directed by the Secretary General.

4.4 Contracted Assessors will in addition be directed by the QACE Quality Management System (QMS).

4.5 The Technical Expert is responsible for the training of the

Assessors, and the QACE Audit Requirements Project.

5. Bank Account 5.1 Authority for the registration and authorisation of QACE payments from the bank account are outlined in Table1. All expenditure over £2,000 must be authorised by another party. 5.2 The Financial Audit Committee (FAC), chaired by the President and made up of two Members and a Board nominated QACE Director is responsible for processing any clarifications regarding QACE accounting and the Income & Expenditure information that is provided after all Board Meetings 5.3 It is especially important that the draft annual Work Plan and Budget and any associated recommendations are provided to the FAC by the Secretariat in advance of the AGM and in time for any questions from the Members to be processed between the FAC and QACE. This process is designed to ensure the Members have all the necessary information at the AGM in order to approve the Budget.

Table 1: QACE Access to Account


PR 02-01 January 2018 3

R: Registration

A: Authorisation

Payment type Accountant SecretaryGeneral

Board Chairman

Board Director

Administration Manager

Remuneration Salary SG

R A A R

Remuneration Directors

R A

Fees & expenses Assessors

R, A R, A

Travel expenses SG

R A A A

Travel expenses AM

A A A R

Travel expenses Directors

R, A R, A

Office supplies R, A R, A

Equipment R, A R, A


QACE Process 02-02: QACE Membership

PR 02-02 January 2018

Information about this ProcessProcedure No.: 02-02Version: 4.0Approved Date: January 2018Prepared: QACE SecretariatApproved: QACE Board of Directors

PURPOSETo describe the QACE Membership criteria and process.

1. REFERENCES

1.1 Members are EU Recognised Organisation’s (ROs) as defined in the QACE Articles of Association (AoA) Part 3, Section 6 and are listed and published in the QACE Register of Members.

1.2 Members become Members and terminate membership by procedures described in the AoA and in the QACE process 03-01 Certificate of Compliance.

2. METHOD

2.1 Membership applicants are organisations not recognised by the European Union (EU) but who have requested recognition.

2.2 As part of their preparations to be QACE Members the applicant EU RO is to advise QACE of their request to the EU for recognition.

2.3 QACE is required by the EU Regulation (EC) No. 391 2009 Article 11, 2 (b) to include requesting recognition organisations into the QACE assessment programme.

2.4 The organisation is to apply QACE process 03-01 ‘Certificate of Compliance’. When the applicants ACB has

provided the annual audit plan QACE will select the audits it will attend for assessment.

2.5 Applicant Members are to be invited to attend General Assemblies but cannot vote on Member’s Resolutions.

3. FINANCE3.1 Before initiating assessments agreement is to be obtained

from the RO for payment of assessment fees and expenses.

3.2 On confirmation of the EU’s recognition the new RO will be included in the next Members QACE subscription, which is invoiced in January and June of each year. The subscription is calculated on an equal division of the approved budget between the Members.

3.3 All subscriptions must be paid within 30 days of the invoice date. Failure to do so may result in interest of 0.5% per day the payment is late.

4. RECORDS

- List of Registered Members - Certificates of Compliance


QACE Process 02-03: Qualification & Training

Information about this ProcessProcedure No.: 02-03Version: 3.0Approved Date: January 2017 Prepared: QACE SecretariatApproved: QACE Board of Directors

1. PURPOSEProvide competent and trained staff to carry out assessments during the ACB audits of ROs, to assess the ROs and ACB’s performance, and draw conclusions regarding the RO’s quality management systems and support the QACE Secretariat’s activities.Maintaining and improving the competence of staff through systematic updating and training.2. APPLICATIONAll QACE staff involved in Assessment activities.3. METHOD3.1 CompetencyBackground as one of the following:- Marine engineer- Naval architect- Officer on-board seagoing ships

- Flag Administration Inspector- RO Marine quality manager (see 3.3.2)3.2 Experience (minimum 5 years):Surveyor for new construction, ships in operation with an RO or flag Administration, having gained comprehensive knowledge and understanding of IACS and RO processes and objectives related to surveying inspection and plan approval, safety of life at sea, pollution prevention, ship security, required standards for seafarers and/or experience in system audits and/or experienced as a system auditor for ISO 9001 or ISM Code.Cognitive skills:

- Able to work independently or as a team- Comprehension of RO processes- Sound evaluation and judgment - Fluency in English language, verbal and written

Integrity:

- Maintain strict confidentiality- Pragmatic and diplomatic

Ability to:

- Draw up clear and objective reports- Conclude on the RO and ACB performance - Determine recommendations for improvements

3.3 Training For all staff:- Annual QACE meeting, experience exchange and information

on new requirements, at least a two day session annually.- For Assessors regular participation in the QACE assessment

programme, assessing at least 4 audits annually.- Continual self-study of new requirements, including, IMO new

and revised requirements, Subscription of News Letters from

QACE Qualification & Training

2 PR 02-03 January 2018

selected ROs, IACS new and revised requirements, Flag State requirements as available on selected websites

- News from selected professional organizations in fields like: Naval architecture or marine engineering,

- New and revised Quality management and auditing requirements

- New QACE Requirement Notice

3.4 Qualification:

3.4.1 New Staff:

For new staff the Secretary General (SG) will review the applicant's CV and carry out an interview.

Practical tutored training during assessments with experienced QACE staff acting as trainers. Duration to be determined by the SG based on the new staff members previous experience and any feedback from the trainer regarding the trainees understanding of the QACE requirements and objectives.

Staff joining QACE after being IACS Observers do not require practical training. They are made aware of the QACE requirements and objectives, either during the QACE Assessor’s Meeting, or separately by the SG before taking up duties.

3.4.2 Staff that have not been qualified in the marine technical disciplines may not carry out assessments of Ships in Operation (SiO) and New Construction (NC) Vertical Contract Audits (VCAs).

3.5 Assessment

The SG carries out and records an Annual Performance Review of the Administration Manager (AM). The reviews are normally conducted in December of each year.

3.5.1 The AM’s reviews are based on:

- The SG’s review of the AM’s work during the year.

- Any customer feedback.

4. RECORDS

- CV curriculum vitae- Contracts- Records of attendance during Assessor Meetings- For new staff records of practical tutored training- Review of Assessment Reports


QACE Process 02-04: Financial Roles & Responsibilities

Information about this Process

Procedure No.: 02-04 Version: 1.0 Approved Date: January 2018 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE This process describes and ensures management control of the financial processes.

APPLICATION This procedure applies to all financial controls not covered in the Articles of Association, roles and responsibilities, and Travel Policy.

METHOD

1. All QACE monies are maintained in two accounts withthe same bank. The first account includes income and expenditure.

The second account includes the reserve fund (Reference AoA 12.8).

The Board of Directors has to authorize in advance any withdrawal of money from the reserve fund: the Members are to be informed as soon as any need for a withdrawal arises together with the relevant reasons and amount.

At each meeting of the Board of Directors the withdrawals, if any, from the reserve fund and the balance of the reserve fund account are examined and reported in the meeting’s minutes as a part of the financial reporting

Replenishment of the reserve fund, if necessary, is to be included in each year’s budget proposal.

No monies from the reserve fund will be reimbursed to Members leaving QACE.

2. Banking System

The company uses QuickBooks banking system.

3. Bank Account Reconciliation

The Administration Officer (AO) is responsible for timely reconciliation between the cash entries made in the accounting system, transactions made through the bank account, and explanation of any differences e.g. other transactions that have not yet registered in either system.

The AO will verify that voided cheques, if returned, are appropriately defaced and filed. The AO will investigate any cheques that are outstanding over three months.


PR 02-04 March 2018 2

The AO will attach the completed bank reconciliation to the applicable bank statement, along with all documentation.

The reconciliation report will be reviewed, approved, dated, and initialed by the Secretary General.

4. Credit Card Policy and Charges All staff members who are authorised to carry a QACE credit card will be held personally responsible in the event that any charge is deemed personal or unauthorised. Unauthorised use of the credit card includes personal expenditures of any kind; expenditures which have not been properly authorised; meals, entertainment, gifts, or other expenditures which are prohibited by budgets, laws, and regulations, and the entities from which QACE receives funds. Full receipts for all credit card charges (not just credit card slips) will be given to the AO within three weeks of the purchase along with proper documentation. The AO will verify all credit card charges (apart from their own) with the monthly statements. The Secretary General will approve the AO credit card charges. A record of all charges will be given to the Bookkeeper with applicable allocation information for posting. A copy of all receipts will be attached to the monthly credit card statement. Differences will be investigated and if necessary, reimbursed by the credit card holder. 5. Division of Responsibilities

The following is a list of personnel who have fiscal and accounting responsibilities: As a general role, the beneficiary cannot authorize their own expenses or remuneration.

Board of Directors

1. Reviews the annual budget.

2. Reviews annual and periodic financial information.

3. Reviews Secretary General’s performance annually and establishes the salary.

4. The Director who is part of the Financial Audit Committee is also authorised person on the QACE bank account

5. Two members of the board, one being the Chairman and other the FAC representative, will be responsible for the contingency account.

Chairman

1. Reviews the annual budget.

2. An authorised person on the QACE bank account and contingency account.

3. Reviews and approves salaries for the Secretariat.

4. Reviews annual and periodic financial information.

5. Reviews and approves expenses made by the Secretary General over £2,000.

Secretary General

1. Reviews and approves all financial reports including cash flow projections.

2. Sees that an appropriate budget is developed annually.

3. Reviews and signs all issued cheques and/or approves cheques signing procedures.

4. Reviews and approves all expenditure including expense claims over (£2000).

5. Reviews monthly bank statements & credit card receipts, reviews for any irregularities, and reviews completed monthly bank reconciliations.

6. Oversees the adherence to all internal controls.

Administration Officer

1. Monitors assessment budgets.

2. Processes all inter-account bank transfers.

3. Assists Secretary General with the development of annual and program budgets.

4. Reviews all incoming and outgoing invoices.

5. Receives and opens all incoming bank statements.

6. Monitors and manages all expenses to ensure most effective use of assets.


PR 02-04 March 2018 3

7. Oversees expense allocations.

8. Reviews revises and maintains internalaccounting controls and procedures

9. Reviews all financial reports.

10. Overall responsibility for data entry intoaccounting system and integrity of accountingsystem data.

11. Processes reviews all payrolls and is responsiblefor all personnel files.

12. Reviews and manages cash flow.

13. Reviews and approves all expensesreimbursements under £2000.

14. Maintains general ledger.

15. Prepares monthly and year-end financialreports.

16. Reconciles all bank accounts.

17. Manages Accounts Receivable.

18. Reviews and approves all reimbursements andfund requests.

19. The AO will use the approver’s checklist of keyitems to be checked on both expense andassessment fee claims.

20. Assessors will also be required to submitevidence of the exchange rate used in theexpense claim (e.g., rate on a credit cardstatement).

Table 1: QACE Access to Account

R: Registration

A: Authorisation

Payment type Accountant SecretaryGeneral

Board Chairman

Board Director

Administration Officer

Remuneration Salary SG

R A A R

Remuneration Directors

R A

Fees & expenses Assessors

R, A R, A

Travel expenses SG

R A A A

Travel expenses AO

A A A R

Travel expenses Directors

R, A R, A

Office supplies R, A R, A

Equipment R, A R, A

QACE -‐ Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union (CIC)

QACE Process 02-‐05: Board Meetings


Procedure No.: 02-‐05Version: 3.0Approved Date: January 2017Prepared: QACE SecretariatApproved: QACE Board of Directors

PURPOSE

The process describes the management and results of Board Meetings.

METHOD

1. PLANNING

The Board of Directors plan the dates and venues for future Board meetings at least one year in advance of the subject meeting.

The Secretary General (SG) agrees the proposed agenda for the next Board Meeting with the Chairman of the Board and calls for the meeting at least two weeks prior to the meeting with the proposed agenda.

Under the QACE Articles of Association at least three Board Meetings are required annually. Board Meetings are, however, generally held four times a year, but are not required or limited to that number or periodicity.

2. AGENDA

Each Board Meeting’s agenda includes:

- Approval of the agenda, - Approval of the previous Board Meeting’s minutes, - Conflict of Interest - Financial: Income and Expenditure (I&E) Report, year-‐on-‐

year budget and major cost centre comparison graphs - Confidential Report -‐ closed session. The results of

Assessment visits and delivered Individual Recommendation (IR) visits since the last Board Meeting

- Review of the Action Log - Director’s Terms of Office

January meeting:

Regular agenda items:

- Discussion and actions from the previous year’s Assessment Programme,

- Approve the year’s annual Assessment Plan, - Annual Management Review (including Objectives and KPIs), - Feedback from the annual Assessor’s Meeting, - Initiation of the Annual Report.

May/June meeting:

- Half year Assessment programme and approval of the Financial Audit.

September/October meeting:

- Preparation for the Annual General Assembly (AGM), - Preparation for the Accredited Bodies (ACB’s) End-‐User

Workshop (EUW)

02-‐05 Board Meetings

2 PR 02-‐05 January 2017

November meeting:

The meeting is in two parts, before the AGM and immediately after the AGM:

- Preparation for and actions from the AGM, - Welcoming any new Board member and Assembly

President.

3. MEETINGS

3.1 A quorum for the meeting is three Directors. The President attends and contributes representing the Members but does not have a vote.

3.2 The minutes the meeting, recording actions, responsibilities and timings on the Action Log.

4. FOLLOW-‐UP

4.1 A draft of the Board Meeting minutes is reviewed by the Chairman and President and distributed to the Board within one month of the meeting.

4.2 The Board agree the minutes within one month of receipt from the Secretariat. The QACE President distributes with the I&E Report to the Members within one week of the Board’s approval.

4.3 The minutes are posted to the document store on the QACE website www.qace.co

5. RECORDS

- Board Meeting call for agenda and proposed agenda - Board Meeting Minutes - Directors Terms of Office - Associated documents as described in the minutes (but

including agenda, previous meetings minutes, financial report)

- Closed session: Confidential Report - Action Log

QACE --- Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union (CIC)

QACE Process 02- 06: Management Review

--- Customer feedback,

--- Status of preventive and corrective actions,

--- Changes that could affect the quality management system,

--- Process, Quality Objectives and KPI performance,

--- Risk assessment,

--- Recommendations for improvement, including recommendations for revised Quality Policy

--- QACE Assessment results


Procedure No.: 02---06Version: 3.0Approved Date: January 2017Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This procedure describes the process of the QACE Board of Director’s annual review of the QACE Quality Management System (QMS).

1. PROCESS

The Directors of QACE shall conduct a review of the QACE QMS annually in a meeting to be held normally in January each year, but not later than March.

The Secretariat shall prepare the input to the Management Review. The input to management review shall include, but not be limited to, information on:

- Follow---up actions from previous management reviews,

- Results of internal and external audits,

- Conformity to procedures and standards,PR 02---06 January 2017

The output from the Management Review shall include any decisions and actions related to:

- Customer focus,

- Identification of risk and risk mitigation,

- Identification of opportunities and associated actions,

- Improvement of the effectiveness of the QMS and its processes,

- Improvement of procedures related to changes in international or industry standards, statutory and regulatory requirements, or identified needs for changing requirements, and

- Resource needs.

2. RECORDS

Associated Board of Directors (Management Review) meeting minutes


QACE Process 02-07: Customers


Procedure No.: 02-07Version: 3.0Approved Date: January 2018Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This process defines the QACE customer groups, their relationship with QACE and how QACE ascertains customer perception of the standard of the services and products it provides.

For the purposes of the QACE QMS, interested parties as defined under clause 2 ISO9001:2015 are considered QACE customers.

1. CUSTOMER GROUPS

● Members and applicant members

● European Commission DG Mobility & Transport

● Flag States

● International Maritime Organisation (IMO)

● The marine industry

● Accredited Certification Bodies (ACBs)

● Public at large

1.2 The ultimate goal for the customer group is for QACE, through the assessment and continuous improvement of the Member’s management systems, to promote safe ships and clean seas.

1.3 As such both parties the QACE Members (ROs), Applicant Members and the European Commission DG Mobility & Transport are QACE’s main direct customers.

1.4 The Commission and the Members/ Applicant Members expectations for QACE is in achieving compliance with Regulation No. (EC) 391 2009 and QACE has this as its main objective.

1.5 In QACE’s oversight, assessment and certification of the RO’s Quality Management Systems it is well placed with organisations like the world’s Flag States, the International Maritime Organisation, the marine insurance and P&I companies and the companies that work with or have an interest in RO performance and how they are audited.

1.6 To that end the effectiveness of the assessment programme reported in the QACE Annual Report and including the QACE Collective Recommendations is important and its success is another major QACE objective.

1.7 QACE reviews customer focus, risks and opportunities during the annual Management Review.

1.8 Customer complaints, appeals and compliments are managed in accordance with process 02-08.

2. CUSTOMER SATISFACTION

2.1 QACE distributes its Annual Report widely. QACE will survey the recipients of the Annual Report at two yearly intervals.

2.2 Compliments and positive feedback shall be recorded in the ‘Customer Feedback’ email folder.

1.1 QACE as a Community Interest Company (CIC) is a not for profit organization set up by the international organisations recognised by the European Union to undertake marine inspection services on behalf of the Member Flag States.


QACE Process 02-‐08: Customer Feedback, Complaints & Appeals


Procedure No.: 02-‐08Version: 3.0Approved Date: January 2017Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This procedure describes the process related to customer feedback, complaints and appeals.

1. APPLICATION

Feedback is information about reactions to a product, a person's performance of a task, etc. which is used as a basis for improvement.

Complaints are statements of dissatisfaction with the work or products of QACE. Complaints can be written or oral. They may be delivered directly by post, email or message to QACE office or to QACE employees, subcontractors while on work for QACE or to Directors of QACE. Complaints may also be delivered indirectly by statements in the press, in web-‐based social media, blogs etc.

Appeals are formal requests to change a decision taken by the Secretariat or the Board.

2. METHOD

2.1 Complaints shall, without unnecessary delay, be conveyed to the QACE Secretary General (SG) together with information on the complainer, relevant circumstances for the complaint and possible background information.

2.2 The SG shall, without undue delay clarify the factual circumstances to determine the causes of the complaint. If there is a reasonable cause for the complaint, the SG shall initiate corrective and preventive actions.

2.3 If the complaint is directly on the behaviour or work of the SG, the complaint shall be dealt with by a Committee appointed by the Board (AoA Clause 18.1.3).

2.4 The complaint is investigated including a root-‐cause analysis.

2.5 The complainer shall be informed that the complaint has been received, the main result of the investigation and a summary of resulting actions taken.

2.6 Appeals shall be dealt with by a Committee appointed by the Board. There shall not be more than two Directors as members in the Committee. The SG attends the meetings of the Committee.

2.7 The Committee shall clarify the factual circumstances for the appealed decision and consider the arguments for the appeal.

2.8 The Committee shall then make a full report to the Board with their recommendation.

2.9 The Board decides on the appeal by ordinary resolution.

02-‐08 Customer Feedback, Complaints & Appeals

2 PR 02-‐08 January 2017

3. FEEDBACK

3.1 Feedback can be the result of customer surveys or general feedback which is received verbally or in writing.

3.2 A customer survey will be held biennially to raise awareness of QACE activities and to determine stakeholder perception of the effectiveness of QACE activities and the quality of QACE products.

4. RECORDS

Electronic ‘Customer Feedback, Complaints & Appeals’ email file containing:

-‐ Record of complaint/appeal -‐ Records of investigations/clarification of factual

circumstances/root cause analysis -‐ Records of decisions of corrective and possible

preventive actions -‐ Record of information sent to the complainer

Customer survey and feedback


QACE Process 02-‐09: Internal Audit


Procedure No.: 02-‐09 Version: 3.0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

Internal audits shall be conducted at least annually to: -‐ To confirm that the QMS and its processes comply with

the ISO 9001:2015 requirements. -‐ That the organization complies with its own requirements. -‐ That any corrective and preventive actions have been

effectively implemented. -‐ To identify opportunities for improvement.

METHOD

1. PLANNING

1.1 The Secretariat shall audit during each calendar year.

1.2 Internal audits will be held by a competent person, either the Administration Officer (AO), Secretary General (SG) or one of the subcontractors. All audits will include focus areas assigned by the SG based on risk and opportunities consideration. The focus areas and scope of the audit will be included in the audit report.

1.3 The audit will normally be carried out over one or two days but at least annually and, depending on the processes to be audited and the availability of the records, will normally be during a visit to the QACE office, but can be held remotely.

2. AUDIT EXECUTION

2.1 The auditor shall consider the time allocation, scope of the audit indicating processes to be audited and the types of documents and records to be reviewed.

2.2 The auditor shall record details of the sample taken relate to the QACE activities and processes under audit.

2.3 The auditor shall at the end of the audit give a verbal summary of results and findings, including non-‐compliances and observations in relation to the requirements. Major: a serious breach which may result in a customer complaint Minor: a lapse of discipline but will not result in a customer complaint OFI: based on the auditor’s experience a potential problem may exist but there is no objective evidence. For guidance only

2.4 The auditor shall provide a written Audit Report within 10 working days after the audit. Template Annex 1

3. AUDIT FOLLOW-‐UP

3.1 The Secretariat is responsible for the findings root cause analysis and assigning responsibilities and timings for the corrective actions.

02-‐09 Internal Audit

PR 02-‐09 January 2017 2

3.2 The auditor is responsible for reviewing and accepting the corrective action evidence and for closing the Non-‐compliances.

3.3 The Secretariat is responsible for reporting the results of internal audit to the Management Review.

4. CHECK

Subsequent internal audits will review the effectiveness offinding corrective actions.

RECORDS

-‐ The Internal Audit Plan -‐ Internal Audit Reports and findings -‐ Management Review

Internal Audit Report QACE -‐ Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union, CIC (QACE)

Audit Scope Location(s) Type here Auditor(s) : Type here Date(s): Type here Audit days (nearest half day): Type here

Internal Audit Report

2 PR 02-‐09 Annex 1 06 February 2015

1 / Executive Summary

• Severity of findings • Areas of Strength or Weakness Type here to enter your comments

2 / Findings

Finding no: NC major/minor/OBS Process: ISO 9001: 2008 or QACE QMS non compliant paragraph: Finding description:

Correction:

Correction date: Root cause analysis:

Analysis date: Corrective/Preventive Action (CPA) plan:

CPA planned implementation date: Accepted Internal Auditor: Date: CPA Effectiveness verified: Finding closed by Internal Auditor: Date:

Internal Audit Report

3 PR 02-‐09 Annex 1 06 February 2015

3 / Narrative Type here to enter your comments

Auditor(s) sign: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Date:

Note / QACE -‐ Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union, CIC (QACE) is a community interest and not-‐for-‐profit company. Its objective is to fulfil the requirements of its articles with reference to the quality assessment and certification of recognised organisations. Therefore, QACE accepts no liability for any loss, damage or expense as a result of any QACE error, omission, act of negligence or breach of duty.


QACE Process 02-‐10: Nonconforming Product & Corrective Acton


Procedure No.: 02-‐10Version: 3.0Approved Date: January 2017Prepared: QACE SecretariatApproved: QACE Board of Directors

PURPOSE

The procedure defines the controls and responsibilities established to ensure that products, which do not conform to requirements, are identified and controlled to prevent unintended use or delivery. The procedure describes actions to be taken to eliminate the causes of detected nonconformities to prevent recurrence and to eliminate causes for potential nonconformities.

RESPONSIBILITY

The Secretariat is responsible for QACE deliverables and product and for actions to eliminate non-‐conforming results and to act to correct or replace the deliverable; finally to ensure corrective actions and controls are in place to ensure compliance

METHOD

1 PRODUCT The main QACE products are:

-‐ Annual Reports and Collective Recommendations,

-‐ Individual Recommendations,

-‐ Assessment Reports

-‐ Certificates of Compliance

2. IDENTIFICATION

Products of QACE shall be identified by date of issue, and as relevant with identification number. Version number is used if the product (e.g. document etc.) is regularly revised.

3. NON-‐CONFORMING PRODUCT ACTIONS

3.1 If a product, an assessment or recommendation proves erroneous; the Secretariat shall without delay take actions to withdraw the reports or the erroneous assessment or recommendation statements to eliminate the defect. Any direct recipient shall be notified about the withdrawal. Web-‐posted products shall be removed and information posted to inform that the product is withdrawn.

3.2 The report or the subject assessment or recommendations shall be corrected and the corrected version, properly identified, shall be distributed to the recipients without undue delay and with accompanying statement explaining the correction. Web-‐posted products shall be accompanied with a statement that the new product replaces the former.

3.3 The Secretariat can detect non-‐conforming product through the product checking processes, monitoring of assessment reports before deliver, internal and external audit and complaint activity.

02-‐10 Non-‐Conforming Product. Corrective & Preventive Action

PR02-‐10 January 2017 2

4. CORRECTIVE MEASURES

4.1 If and when a defect is detected or reported, the matter shall be reviewed and analysed by the Secretariat in order to determine the causes of the defect.

4.2 Based on the result of the analysis, an evaluation of the need for actions to ensure that defects or nonconformities do not recur shall be made. Actions shall be appropriate to the effects of the defect, complaint or nonconformity encountered.

4.3 Actions deemed needed shall be implemented without undue delay.

4.4 The effectiveness of the corrective actions taken shall be reviewed at least annually.

5. PREVENTATIVE MEASURES

5.1 When planning a new product an evaluation shall be made to determine potential nonconformities and their causes. The evaluation shall take into consideration the results of any previous evaluation of nonconformities, including complaints, their corrective actions, and the effectiveness of actions taken.

5.2 Based on the result of the analysis, an evaluation of the need for actions to prevent occurrence of nonconformities shall be made. Actions shall be appropriate to the effects of the potential problems determined.

5.3 Actions deemed needed shall be implemented without undue delay.

5.4 The effectiveness of the preventative actions taken shall be reviewed at least annually as part of the Management Review process.

6. RECORDS

6.1 Erroneous products shall be clearly marked as such to prevent future use and maintained with the associated correspondence concerning the subsequent action taken.

6.2 A record of the non-‐conforming product and associated correspondence shall be retained in the ‘Non-‐conforming Product’ email folder for discussion during Management Review.


QACE Process 02-12: Data Control

PR 02-12 January 2018

1


Purpose

This process describes the control of business critical supplied services.

Process

Business critical supplied services shall be undertaken by reputable companies assessed by the Secretariat and advised to the Board. The Financial Auditors are selected by the Secretariat and proposed to the Members for election at the General Meeting.The Secretariat shall, as far as possible, make investigations of possible providers and request tenders from at least two eligible providers.After the Board’s decision the contract is signed by the Secretary General, and/or the Chairman of the Board and other Directors if required.The continued use of a vendor shall be re-evaluated at intervals, at least each 5th year, or as the Board decides.

Application

The following business critical services are subject to this procedure:

● Financial Auditor (appointed by Members, ref. AoA clause 13.6.7)

● Legal Advisor

● Insurance Broker

● Bank

● Accounting

● Office Housing and services

● ISO: 9001-2015 certification

● IT web and email services

Records

- The List of Supplied Services companies- The supplied services contract- The review of supplied services providers


QACE Process 02-14: Control of Records


Procedure No.: 02-14Version: 4.0Approved Date: January 2018Prepared: QACE SecretariatApproved: QACE Board of Directors

PURPOSE

This process describes the QACE record controls.

METHOD

1. General Records

1.1 QACE maintains a paperless office using Google Apps since the beginning of 2015. Previous hard copy documentation has been scanned and is maintained on the QACE Google Drive file structure.

1.1 QACE legal obligations for retaining original and signed documents are maintained by the QACE law firm Farrer&Co.

2. Specific Records

2.1 QACE has specific record requirements outlined in the Articles of Association (AoA) that are outlined in this process.

2.2 Further specific record requirements are outlined in the associated process document.

3. Members, Membership and General Meetings

3.1 Records related to Membership and General Meetings shall provide evidence of requirements stated in the AoA Ch. 10 and 11, and in Companies Act.

3.2 Records of membership application, its execution by the organisation and the approval by the Directors shall be retained. Signatures of the applicants to become Member shall be retained.

3.3 Records of Membership termination and the reasons for termination shall be retained.

3.4 Records of appointment of authorised representatives shall be retained.

3.5 The most recent and valid register of Members shall be retained.

QACE Control of Records

2 PR 02-14 January 2018

3.6 Records related to Membership and Membership authorisation shall be retained for the lifetime of the organisation.

3.7 Minutes of any General Meeting (AGM or EGM), including any Resolution decided by the Members shall be retained in the meetings electronic email folder. Records of General Meetings etc. shall be retained for the lifetime of the organisation. The Secretariat is responsible for reviewing and maintaining the records.

4. Board of Director Meetings and decisions

4.1 Minutes of any Board of Directors’ meeting, of any Resolution decided by the Directors and of any proceedings in accordance with AoA Ch. 17, shall be retained for 20 years.

4.2 Reports of any committee established by the Directors shall be retained for 10 years.

5. Employees and subcontracted personnel

5.1 Records of applications for positions or engagements shall be retained for 2 years.

5.2 Records related to each employee or subcontracted person shall be retained.

5.3 Personnel records are retained for 10 years after termination date.

6. QACE assessments

6.1 Working notes etc. from assessments of audits will be discarded after 2 years. Assessment Reports are retained in perpetuity.

6.2 Annual assessment reports, including reports on general recommendations, are retained in perpetuity.

6.3 Individual recommendations and RO replies and associated correspondence are retained in perpetuity.

6.4 The Administration Manger is responsible for the maintenance for all Assessment reports and related documents as stated above.

7. Compliance Certificates

7.1 The member’s two-yearly Certificate of Compliance are retained in perpetuity.

8. Vendors and service providers

8.1 Contracts, agreements etc. and correspondence related to such with vendors or service providers are filed per supplier.

8.2 A list of vendors and service supplier shall be maintained.8.3 Records of periodical evaluation of suppliers shall be kept.

Periodicity will depend on volume and value of service.

9. Accounting

9.1 Incoming invoices shall be filed per vendor. Travel expense claims shall be made on designated form and supported with evidences of expenses attached. All claims must include the actual bill/ receipt and not just the credit card receipt.

Proper authorisation of travel expense claims shall be retained.

9.2 Salary or fees payment records shall be filed per receiver. Authorisation of salary or fees payment shall be retained.

9.3 Records related to accounting shall be retained for 10 years.

10. Backup

10.1 The Secretariat shall ensure automatic back up is maintained as part of the Google application


QACE Process 02-15: Control of Supplied Services


Purpose

This process describes the control of business critical supplied services.

Process

Business critical supplied services shall be undertaken by reputable companies assessed by the Secretariat and advised to the Board. The Financial Auditors are selected by the Secretariat and proposed to the Members for election at the General Meeting.The Secretariat shall, as far as possible, make investigations of possible providers and request tenders from at least two eligible providers.After the Board’s decision the contract is signed by the Secretary General, and/or the Chairman of the Board and other Directors if required.The continued use of a vendor shall be re-evaluated at intervals, at least each 5th year, or as the Board decides.

Application

The following business critical services are subject to this procedure:● Financial Auditor (appointed by Members, ref. AoA clause

13.6.7)

● Legal Advisor

● Insurance Broker

● Bank

● Accounting

● Office Housing and services

● ISO: 9001-2015 certification

● IT web and email services

Records

- The List of Supplied Services companies- The supplied services contract- The review of supplied services providers


QACE Process 03:01: Certificate of Compliance

Information about this Process Procedure No.: 03:01 Version: 3.0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE This Process describes the circumstances in which QACE will issue, suspend, withdraw or reinstate the QACE Recognised Organisation’s (RO’s) or organisations requesting EU Recognition Certificates of Compliance. REFERENCES

-‐ The QACE Articles of Association

-‐ The QACE Tripartite Agreement

-‐ The QACE Feedback, Complaints and Appeals Process (03-‐06)

PROCESS

1. QACE CERTIFICATE OF COMPLIANCE

On completion of the QACE Secretary General’s (SG’s) positive assessment and recommendation of the RO’s or organisations requesting EU Recognition compliance and, after the Board’s approval, the Secretariat shall issue a Certificate of Compliance (CoC), stating compliance against:

“Assessment of the Quality Management Systems (QMS) of the EU Recognised Organisations (ROs) in accordance with the principals of ISO 19011:2011 ‘Guidelines for auditing management systems’, through the witnessed application of the ISO 9001:2008 and IACS Quality System Certification Scheme (QSCS) requirements by ISO 17021:2011 accredited certification bodies”.

1.2 QACE Certificates of Compliance shall be valid for two years to the end of the calendar year), generally issued in conjunction with the RO’s or organisations requesting EU Recognition Individual Recommendation visit. The certificates are signed by the QCE Chairman of the Board of Directors and QACE Secretary General

1.3 The RO’s Certificates of Compliance are published on the website and are stated in the Annual Report.

1.4 Where issued, QACE Certificates of Compliance shall remain valid or until suspended under section 4 of this process. Continued compliance shall be formally assessed during the Individual Recommendations =process.

2. COMPLIANCE ISSUES AND REMEDIAL PLAN

2.1 If the QACE Secretariat’s assessment concludes that the RO’s QMS and /or the audits carried out by the ACB as basis for their certification;

2.1.2 Are not in compliance with the standards or the QACE requirements or;

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2.1.2 If the RO has not responded satisfactorily to findings or recommendations, or

2.1.3 If a serious defect in the RO’s QMS are revealed during the year,

2.2 The QACE SG shall advise the QACE Board of Directors, with the reasons and recommendations.

2.3 The QACE Secretariat shall notify the RO and ACB in writing of the perceived deficiencies and possible suspension of certification; and

2.4 QACE's recommendations and timetable for a plan of action to remedy such deficiencies and corrective actions (the Remedial Plan), which may include a suitable period to allow the RO and ACB to take remedial steps which may include the performance of additional audits.

2.5 The RO and ACB shall then implement the Remedial Plan.

3. CORRECTIVE ACTIONS

3.1 During the improvement period the RO shall report progress.

3.2 The RO and ACB shall provide the necessary documentary evidence and facilitate QACE assessment as agreed in the Remedial Plan.

3.3 On satisfactory completion of the Remedial Plan the QACE SG shall inform the QACE Board of the results.

3.4 The Secretariat shall advise the RO and ACB of the results. QACE may require that the effectiveness of the corrective actions is monitored and assessed over time.

4. SUSPENSION

4.1 If the Remedial Plan is not satisfactorily completed and the corrective actions evidenced as required, the SG shall advise the QACE Board of Directors and shall suspend the Certificate of Compliance.

4.2 The RO and ACB shall be advised accordingly.

4.3 A corresponding statement shall be published on the QACE web-‐site, and the Board shall inform Flag States and interested parties, including the EU Commission, of its decision.

5. REINSTATEMENT

The RO may request reinstatement of the Certificate of Compliance. The request to be based on a detailed (The Reinstatement Plan) designed to evidence the RO’s meeting and maintaining the general compliance requirements and the specific deficiencies identified under the suspension notification. The Reinstatement Plan is to specify how the RO will evidence the effectiveness of the corrective actions over time.

6. COMPLAINTS AND APPEALS

Any complaints or appeals with regard to this process shall be dealt with in accordance with the QACE Feedback, Complaints and Appeals Process 02-‐08.


QACE Process 03-‐02: Assessments


Procedure No.: 03-‐02Version: 3.0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This process describes the QACE assessment cycle based on Plan, Do, Check, Act (PDCA) principles.

The process describes in detail the Assessor’s role and scope of activities for assessment visits and the inter-‐relationships with the ACB and RO.

APPLICATION

The process is applicable to all QACE Assessors and staff, to the Recognised Organisations (ROs), the Accredited Certification Bodies (ACBs) and stakeholders interested in the assessment of ROs.

METHOD

1. PLANNING

1.1 The annual required numbers of audits, based on each organisation’s fleet size, is provided by IACS Operations Centre. The ACB’s shall provide their annual Audit Plans by the end of the preceding year.

1.2 The plans shall include:

-‐ The office audit locations, dates and auditors,

-‐ The New Build VCA locations, dates and auditors,

-‐ The planned Ships in Service VCA locations, dates and auditors.

1.3 Unavoidable changes to the plan with the reason shall be advised as soon as they are known.

1.4 QACE Lead Assessors (LA) take responsibility as a main contact for a number of RO’s.

1.5 Assessor’s Meeting. The LAs attend a minimum two-‐day Assessor’s Meeting in January or February of each year. The QACE team reviews each ACB RO’s audits using a risk-‐based approach in the selection of the audits to be attended.

1.6 The LAs advise the ACB and RO of the audits that QACE will attend during the calendar year by February of that year.

1.7 Individual ACB Audit Plans shall be provided to QACE Secretariat at least two weeks before the audit. QACE will review and approve the plan within a week.

1.8 Where QACE is to attend an audit the QACE Assessor shall liaise with the auditor before the audit with any QACE requirements. For office audits with an ACB audit team, the QACE Assessor shall be involved with the planning, by correspondence, phone or physical meetings.

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2. ASSESSMENT VISITS

Opening Meeting

2.1 During the assessment, at the Opening Meeting, the QACE Assessor will introduce themselves and the defined QACE role, objectives and scope of activity during the assessment.

Audit Sessions

2.2 The Assessor shall select and attend the ACB’s audit sessions. The Assessor shall feedback to the RO and ACB after each session with any additional QACE questions and requirements. The RO shall ensure that a separate session can be organised if required. Any potential QACE questions or findings shall be identified as such.

2.3 At the audit Close-‐Out meeting the QACE Assessor will confirm any RO outstanding issues or findings.

3. REPORTING

ACB

3.1 The ACB shall provide QACE with an Audit Report within three weeks of all audits. The ACB shall provide audit reports for all the audits undertaken.

QACE

3.2 Assessors shall provide QACE Secretariat with an Audit Feedback Report, which includes the notes, references and Assessor comments from the audit.

3.3 Assessors shall provide a draft QACE Assessment Report to the Secretariat within one week of the audit. The Secretary General (SG) will review and request changes or approve the report.

3.4 Once approved the Secretariat shall provide the Assessment Report to the RO and ACB within three weeks of the last day of the audit. The QACE Assessment Report (template Annex 1) contains sections regarding assessment of the RO and ACB performance. The report will contain any outstanding issues or findings.

Follow-‐up & Close Out

3.5 Where QACE findings have been identified they will be the subject of separate correspondence from QACE Secretariat.

3.6 QACE findings are maintained and controlled to completion by QACE Secretariat.

3.7 Findings are likely to be included in the RO’s Individual Recommendations

4. CONTINUAL IMPROVEMENT THROUGH ASSESSMENTS

4.1 The Secretariat maintains a Confidential Annual Assessment Report with a summary of the assessment visits held during the year. The report includes:

-‐ Possible Collective Recommendations (CRs),

-‐ Possible Individual Recommendations (IRs),

-‐ Possible QSCS feedback,

-‐ Best Practices (BPs),

-‐ QACE outstanding issues and findings.

4.2 Confidential Assessment Reports are presented at the January, June and October QACE Board of Director’s meetings.

4.3 Any Board decisions or actions are recorded in the final report and actions are included on the Boarding Meeting Action Log.

4.4 IACS holds an annual November End-‐User Workshop for the ACBs, ROs and the associated stakeholders in the scheme. A QACE presentation highlights the results of the QACE assessment year, comments on the schemes strengths and weaknesses, critical issues, improvements noted during the year, necessary future improvements and best practices.

4.5 In February of each year the SG submits a QACE QSCS Report to the IACS Quality Committee. The report contains QSCS feedback from the year’s QACE assessment programme:

-‐ Possible changes to the requirements,

-‐ Coming relevant QACE requirements that may be considered for inclusion,

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-‐ Comments on the IACS planned changes to the scheme.

4.6 The results of the assessments are included in the QACE Annual Report (03-‐05). The annual Collective Recommendations for improvement are reported in Annex C of the QACE Annual Report. The ROs are required to comment on their implementation of the recommendations each year and QACE monitors effective implementation through the ROs Individual Recommendations.

RECORDS

- Tripartite Agreements - QACE Annual Assessment Plans - Annual QSCS QSCS Feedback - Assessment Reports (retained in perpetuity) - Audit Feedback Reports (retained for two years) - EUW PowerPoint presentations - QACE Annual Reports

CONFIDENTIAL

- BOD Confidential Annual Assessment Reports -‐ Individual Recommendations


QACE Process 03-‐03: Annual Work Plan & Budget

Information about this Process Procedure No.: 03-‐03 Version: 3.0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This process describes the planning and delivery of the QACE annual Work Plan and Budget.

APPLICATION

The Members review the Work Plan. The Board of Directors (BoD) are responsible for approval of the Work Plan. The BoD are responsible for the review of the Budget. The Members are responsible for the Budget’s approval. The Secretary General (SG) is responsible for the preparation of both the Work Plan and the Budget

REFERENCE

Articles of Association Section 19. Work Plan.

METHOD

1. GENERAL

1.1 The QACE annual Work Plan covers the calendar year 1st January until 31st December.

1.2 QACE’s annual Budget covers the period from 1st January until 31st December.

2. PLANNING THE WORK PLAN

2.1 The SG will prepare the next year’s draft Work Plan to be presented to the Board in their September or October meeting. The Work Plan shall be based on the experience from delivery the preceding year’s work plans and on any planned changes and recommendations.

2.2 The SG, with the Board’s approval, may make changes but will submit an approved Work Plan to the Members as soon as possible after the third quarter Board meeting.

2.3 The Directors may agree to propose additional changes to the Work Plan at their Board meeting preceding the AGM. These changes will be presented to the Members at the AGM under the agenda item.

2.4 The Board and the SG will consider any comments from the Members during the AGM.

2.5 In accordance with AoA Articles 18.1.9 and 19 the Board will approve the Work Plan during the AGM or at the Board meeting, normally immediately after the AGM.

3. PLANNING THE BUDGET

3.1 The SG will prepare a draft Budget to be presented to the Board in their September or October meeting. The draft Budget shall be based on the account for present and the preceding year, prognosis for expenditures for the rest of the accounting year, and on any changes the SG foresees or plans in the Work Plan or expenditure.

3.2 Based on the Directors proceedings in the meeting and afterwards, a revised Budget is prepared and advised to the

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Members through the Financial Audit Committee (FAC) as soon as possible after the September or October meeting.

3.3 The FAC and members will review the proposed budget and process any clarifications with the Secretariat before the AGM Resolution for approval.

3.3 The Directors may agree to propose additional changes to the Budget at their Board meeting preceding the AGM. These changes will be presented to the Members at the AGM when dealing with the Budget.

3.4 The Members will approve the Budget for the forthcoming financial year in accordance with AoA Articles 13.6.3 and 19 if thought fit.

3.5 The Directors will consider the approved Budget in their meeting(s) subsequent to the AGM (normally immediate after the AGM and/or in January) to confirm that the Budget is consistent with the decided Work Plan.

3.6 If, in the opinion of the Directors, it will not be possible to complete the decided Work Plan within the approved Budget and available QACE funds, the Directors shall consider and eventually call for an EGM to seek approval for a revised Budget.

RECORDS

- Board Meeting minutes - Annual General Meeting minutes - Annual Work Plans - Annual Budgets


QACE Process 03-‐04: Collective & Individual Recommendations


PURPOSE To describe the QACE Collective and Individual Recommendations processes. REFERENCES European Union Regulation (EC) No. 391/2009 Article 11 2 (d) ‘adoption of collective and individual recommendations for the improvement of recognized organisations’ processes and internal control mechanisms’

METHOD 1. COLLECTIVE RECOMMENDATIONS (CRs)

1.1 The Secretary General (SG) makes an analysis of the assessment reports and audit findings for a confidential report at each Board of Directors Meeting.

1.2 A draft sketch of preliminary conclusions for the year are presented to and discussed at the October Board Meeting. Based on the outcome of Board’s discussion, and further audit assessments carried out, a presentation is prepared for the annual End User Workshop (EUW). The preliminary report of assessments carried out and proposed Collective Recommendations (CR) are presented.

1.3 Based on any feedback from the EUW, the remaining audit assessments, a full analysis of findings and on any other relevant information, including the responses from the previous year’s CRs the first draft of the Annual Report is prepared and discussed at the January Board Meeting.

1.4 The annual Collective Recommendations are finalised and published as Annex C of the Annual Report no later than April of each year.

1.5 In September of each year the SG communicates with the Members requesting their full and detailed comments with regards to their organisations consideration and handling of the issues associated with the recommendations. A reply is requested by the end of October.

1.6 The responses are analysed and make up part of the consideration for future Collective Recommendations.

2. INDIVIDUAL RECOMMENDATIONS (IRs).

2.1 IRs are developed by the Secretary General from the results of assessments, trend analysis of audit findings, responses from Collective Recommendations, Port State Control detention statistics and other publicly available information. The IRs identifies RO and organisations requesting recognition strengths and weaknesses, any potential needs for corrective actions and improvement opportunities.

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2.2 IRs are presented to each of the RO every other year. The recommendations are provided to the Member at least two weeks prior to the organised meeting.

2.3 The drafted IRs are discussed with the RO’s Lead Assessor for any additional feedback.

2.4 The draft or delivered IRs are discussed at the first appropriate Board Meeting during a Closed Session, not attended by the QACE President.

2.5 The meeting is attended by the Members Marine Managing Director, members of the marine management team as appropriate, the Quality Representative and the QACE Chairman of the Board and Secretary General.

2.6 The IRs and the meeting are confidential to QACE and the Member, or organisation requesting recognition, although the Member, or organisation requesting recognition, are encouraged to involve their ACB.

2.7 During the meeting each of the points are discussed in detail. QACE requests a formal reply within three months of the meeting.

2.8 The Member’s response is reviewed by the Secretary General.

2.9 The RO’s and applicant RO performance and the effectiveness of any actions in relation to the IRs are followed up at Head Office assessments which are organised for the following year and from the assessment reports and audit findings over the period.

RECORDS

Collective Recommendations:

- QACE Annual Reports Annex C - QACE request for Member’s comments and the responses

Individual Recommendations:

- Individual Recommendations - Member’s responses - Applicant Member’s responses


QACE Process 03-‐05: Annual Report


PURPOSE

This process describes the preparation and issue of the QACE Annual Report.

APPLICATION

This procedure applies to the Secretariat and to the Board.

REFERENCES

EU Regulation (EC) No 391/2009 Article 11. 5. “The quality assessment and certification entity shall provide the interested parties, including the flag States and the Commission, with full information on its annual work plan as well as on its findings and recommendations, particularly with regard to situations where safety might have been compromised”.

METHOD

1. BASIS FOR REPORT

1.1 The Annual Report has as a minimum sections covering: -‐ Assessment Activities

-‐ Main Findings

-‐ Recommendations

-‐ Relations with other Organisations

-‐ Concluding Remarks

-‐ Annex A -‐ Elected Non-‐Executive Directors of the Board for QACE

-‐ Annex B -‐ Members of QACE-‐ EU Recognised Organisations

-‐ Annex C -‐ (year) Collective Recommendations

1.2 The Annual Report is based on: -‐ Assessments of the ROs during accredited bodies (ACB)

audits,

-‐ Audit findings as issued, and their handling (proposed actions, evidence of actions and closing),

-‐ Analysis of findings for each RO, across ROs for each ACB, across ACBs and across all findings,

-‐ Assessed RO performance,

-‐ Analysis of trends related to focus issues,

-‐ Analysis of trends related to previously issued recommendations,

-‐ Additional publically available information, for example Port State Control (PSC) detention information.

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2. PLANNING AND ISSUE OF THE ANNUAL REPORT

2.1 Based on analysis of the above information compiled until August/September of each year the Secretariat will make a preliminary analysis and draw up potential main findings.

2.2 The information is presented and discussed at the Board Meeting (normally) in October.

2.3 A presentation is made to the ACB End User Workshop. In November which includes the preliminary Main Findings and possible Collective Recommendations.

2.4 Based on any feedback from the EUW and any further feedback from the remaining year assessments and audit findings a first draft of the Annual Report is prepared for discussion at the Board Meeting (normally) in January.

2.5 The members are provided with a copy of the resulting draft for a review of factual accuracy.

2.6 No later than April of each year final refinement of the report and approval is dealt with by the Directors and the Secretariat by correspondence.

2.7 On approval the report is formatted and distributed as required to the Flag Administrations and the EU Commission and to the European Maritime Safety Agency (EMSA) and to other interest parties.

2.8 A limited number of printed reports are produced for filing and special distribution. The report is made publically available through a news feed and link to the QACE website www.qace.co.

RECORDS - QACE Annual Reports. - Associated Board Meeting minutes - Associated correspondence


QACE Process 03-‐06: Working with IACS

PR 03-‐06 January 2017

Information about this Process Procedure No.: 03-‐06 Version: 0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

To describe the QACE IACS working relationship and responsibilities for the RO audit scheme. REFERENCES

• EU Regulation (EC) No.391 2009 • QACE Articles of Association • ISO: 9001 2008 • IACS Quality System Certification Scheme (QSCS) • IACS Quality Management System Requirements

(QMSR)

METHOD

QACE independence is ensured under the Articles of Association. With the conditions of independence and formal relationship established, a strong working relationship between QACE and IACS benefits the community. QACE adopts, in full, the IACS Quality Management System Requirements (QMSR) and the IACS Quality System Certification Scheme (QSCS).

QACE and IACS have agreed the following:

1. Two meetings a year in the spring and autumn.

2. Wherever possible provide joint annual Audit Focus Issues, to provide clear guidance to the ACB teams and avoid duplication.

3. QACE’s involvement with annual January mandatory auditor training course, through a dedicated QACE trainer.

4. QACE annual February QSCS Feedback Report to the IACS Quality Committee (QC) and IACS response by December of each year.

5. To share assessment and observation programmes to, wherever possible, avoid VCA observation duplication.

6. QACE QSCS feedback presentation at the IACS End-‐User Workshop.

RECORDS

-‐ QACE & IACS Meeting minutes -‐ QACE auditor training presentations -‐ QACE Annual QSCS Feedback Reports and IACS

responses -‐ QACE Annual Reports


QACE Process 03-‐07: Working with the ACBs

Information about this Process Procedure No.: 03-‐07 Version: 0 Approved Date: January 2017 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This process describes the relation between QACE the Accredited Certification Bodies.

APPLICATION

This procedure applies to the Secretariat and to the Board.

REFERENCES

EU Regulation (EC) No 391/2009 Article 11.4, “The quality assessment and certification entity may request assistance from other external quality assessment bodies.”

METHOD

Tripartite Agreement: This Agreement has been entered into to clarify the relationship between QACE, ACB and RO in relation to the assessment and certification of RO's quality management standards to provide QACE with the required degree of control over the assessment and certification process. QACE maintains a list of QACE approved ACBs, maintaining at all times control of the assessment and certification process. QACE cannot influence the ACB’s impartiality and confidentiality in accordance with the ISO 17021 requirements for bodies providing audit and certification of management systems and 19011 guidelines for auditing management systems.

ACB OBLIGATIONS:

1. ACB Programme Managers have direct contact to the QACE Secretariat.

2. ACB Audit Leader and a QACE Assessor, in accordance with the terms of Clause 4 below;

3. The ACB’s submit the Annual Audit Plan in advance by 31 December each year for QACE review and possible input, including all Head Office (HO), Control Office (CO), Plan Approval (PA) and Survey Location (SL) offices and New Build (NB) Vertical Contract Audits (VCAs) (audit dates and locations) and planned Ships in Service VCAs (locations and dates), (all as defined in the IACS Quality Management System Requirements (QMSR) Scheme). QACE will review and possibly input to the Annual Audit Plan.

4. Provide each individual office Audit Plan for audit of RO to QACE at least two (2) weeks prior to the scheduled date of the audit with subsequent updates as necessary, for the purposes of QACE review and comment. QACE will review and provide any comments in accordance with the terms of Clause 3.2.3 below;

5. Make such amendments to any Annual Audit Plan and/or individual Audit Plan as QACE reasonably

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requests pursuant to QACE's review under Clause 1.1.3 and/or 1.1.4 above, as applicable;

6. Allow and facilitate the participation of a QACEAssessor during each observed audit; the role of theQACE Assessor and terms of the QACE Assessor’sparticipation to be as set out in Clause 4 below;

7. Allow and facilitate the participation of the QACEAssessor in any planning meetings before the auditwhere more than one auditor is attending (but only for(HO), (CO) and (PA) offices). For other smaller surveyoffices, no such planning time is required as long asthe QACE Assessor is included in communicationbetween the auditors relating to planning;

8. Include the specified Audit Focus Issues in all relevantaudits;

9. Provide QACE with a copy of any audit reports or auditsummaries associated with the scheme,

10. Ensure that after each audit the IACS ACB database isupdated with the audit findings within two weeks ofthe last date of the audit;

11. Ensure the attendance of all ACB auditors (includingthose working on a sub-‐contracted or freelance basis)at an annual Auditor Training Course.

QACE OBLIGATIONS:

1. QACE shall, by the end of February in each year,provide ACB and RO with a list of the audits, which willbe attended by the QACE Assessor during that year.Where an audit is to be attended before the end ofFebruary will be the subject of earlier communication.

a. Ensure that the QACE Assessor complieswith the provisions of this Agreement,including Clause 4 (QACE Assessor) andClause 10 (Confidentiality) below;

b. In each year, review the Annual Audit Plansubmitted by ACB under Clause 1.1.3 and

provide any comments to ACB within 4 weeks of receipt of the Annual Audit Plan;

c. Review the individual Audit Plan(s)submitted by ACB under Clause 1.1.4 andprovide any comments to ACB within oneweek [of receipt]; and

d. Provide an Assessment Report to the ACBand RO within 3 weeks of the end of theobserved audit.

2. Where, having reviewed the ACB's Annual Statementof Compliance (where issued) and supplementaryAudit Report(s) and where the QACE requirementshave been met, including the Obligations of thisAgreement QACE will retain the ACB on its list ofapproved ACBs.

3. Where QACE has: (i) indicated that it is satisfied withACB's audit(s) under Clause 3.3; and (ii) determinedthrough its assessment of the audit process scopesand content that the RO has met the (a) IACS QMSRrequirements (as adopted by QACE), (b) the ISO:9001requirements and (c) the QACE requirements, QACEwill issue the RO with a QACE Certificate ofCompliance.

4. Where QACE adjudges that either 3.3 or 3.4 have notbeen met, QACE will implement the QACE Certificateof Compliance process 03-‐01 Section 2 ComplianceIssues and Remedial Plan.

Individual annual meetings between each QACE and the ACB to highlight trends during the Assessment Programme year, general and individual good practices and areas for improvement.

RECORDS

-‐ QACE Annual Reports -‐ Tripartite Agreements -‐ Associated correspondence -‐ Meeting minutes -‐ Annual audit plans -‐ Individual audit plans and reports


QACE Process 03-08: QACE Requirement Notices


Procedure No.: 03r 08Version: 1Approved Date: January 2018 Prepared: QACE Secretariat Approved: QACE Board of Directors

PURPOSE

This process describes the preparation, approval and issue of QACE Requirement Notices (QRN).

APPLICATION

For application within the Accredited Certification Bodies (ACB) audits.

REFERENCES

EU Regulation (EC) No. 391/2009 Article 11:

The quality assessment and certification entity shall carry out the following tasks:

2.(C) issue of interpretations of internationally recognised quality management standards, in particular to take account of the specific features of the nature and obligations of recognised organisations.

3. The quality assessment and certification entity shallhave the necessary governance and competences to actindependently of the recognised organisations andshall have the necessary means to carry out its dutieseffectively and to the highest professional standards,safeguarding the independence of the personsperforming them. The quality assessment andcertification entity will lay down its working methodsand rules of procedure.

METHOD

During the course of its assessment activity the QACE Secretariat may identify potential new requirements. The potential requirements are discussed as necessary with the QACE Assessors and brought to the next convenient QACE Board meeting for approval.

1.1 QACE takes every opportunity to incorporate new requirements into the IACS QSCS, by their inclusion in the Annual QACE QSCS Feedback Report to the IACS Quality Committee.

1.2 QACE has different objectives from IACS and is duty bound to maintain its independence from the ROs and RO’s associations. On occasion, separate QACE requirements may need to be implemented.

1.3 New requirements are likely to be the subject of audit of the RO’s by the ACBs and, while still retaining its independence,

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and to ensure all points are considered, QACE may seek a consultation period before issue and implementation of the requirement.

1.4 Once approved by the Board and the requirement is developed into a QACE Requirements Notice (Appendix A).

1.5 QRNs are issued under an email notification to the ACBs and RO’s and are posted on the QACE website qace.co under the Documents page QACE Requirements Notices.

1.6 QACE makes every effort to co-‐ordinate the annual audit focus areas with IACS, but will issue its own audit focus issues under a QRN when considered necessary.

1.7 If IACS include the requirement into QSCS the QACE QRN may be withdrawn.

RECORDS

- Relevant Board meeting minutes - QACE Requirements Notices - qace.co -‐ Documents -‐ Quarterly Notice Requirements